RIA Registration

Simplifying Your Path to Success

Launch your Registered Investment Adviser in 90 days. From entity formation to Form ADV filing to ongoing compliance — a complete turnkey solution for your RIA.

Registration & Setup

Your All-in-One Adviser Solution

Investment Adviser registration and ongoing compliance management — from entity formation through Form ADV filing and beyond.

Consultation & Regulatory Roadmap
Free 60-minute consultation to determine the correct regulatory path — ERA, Internet Adviser, or full RIA. Personalized strategy with a clear timeline and milestones.
Form ADV Filing
Draft and file Form ADV Part 1 (firm operations, ownership, clients) and Part 2 (narrative brochure and personnel supplements). Submit via IARD and facilitate registration fees.
Compliance Program Design
Fractional CCO services, code of ethics, supervisory procedures, compliance manual, Investment Advisory Agreements, Solicitor Arrangements, and Privacy Policy creation and review.
Entity Registration
Draft your firm’s business structure — corporation, LLC, or partnership. Liaise with legal counsel and complete State government entity registration.
Ongoing Compliance

Built for Long-Term Success

We don’t just get you registered — we set you up with the technology and processes to stay compliant as you grow.

Advertising & Marketing Reviews
AI-powered review platform ensures all advertising and marketing materials comply with SEC and FINRA rules. License the platform or have us perform reviews.
Electronic Communications Monitoring
Monitor all digital communication channels — email, chat, social media — automatically reviewing and flagging content for regulatory infractions.
Operations & Client Agreements
Draft client agreements outlining services, fees, and advisory terms. Guidance on third-party adviser platforms for client base building and compliance oversight.
Technology & AI Platform
Connect with cutting-edge Investment Adviser platforms that leverage AI to reduce workload and enable rapid growth.
Compliance Program Details

Complete Program Coverage

Every document, policy, and program your RIA needs from day one.

Compliance manual creation, customization, and review
AI analyzes employee trades, disclosures, and communications in realtime
AI accelerates configuration by mapping them to your firm’s actual risks
AI highlights required disclosures and flags potential issues up front, cutting review cycles dramatically
AI analyzes the actual content of emails, chats, social posts, to detect policy violations in real time
Staff training programs — fully prepared for regulatory framework
Ongoing support and guidance beyond the initial setup phase
Continuous monitoring and updates on regulatory changes

Ready to Launch Your Advisory Firm?

Schedule a free 60-minute consultation. We’ll determine whether you need state or SEC registration and build your complete regulatory roadmap.

Schedule a Free Consultation